Minimizing Delays in Grant Application Submission and Helpful Tips in Grants Management

Purpose  Identify common delays in grant processing  Identify grant application requirements  Provide additional information on grant processing  Identify common mistakes in grant management (lack of information)

Potential Delays  Pre-application –Planning & Environmental –Civil Rights –Other  Application –Contents  Vehicle Fleet Status –DOL

Potential Delays in Planning/Environmental  Project not included in TIP/STIP, planning project not in UPWP  Coordinated Human Services Plan does not contain required elements  Competitive Selection Process does not include required elements  NEPA process not completed - Environmental Analysis (Feasibility Study for construction – process is complete once FTA makes environmental finding)  Appraisal not conducted, or reviewed and approved by FTA  Provide environmental documentation  Ineligible projects (non transit)

Potential Delays in the area of Civil Rights  DBE Goal and supporting documents not submitted or incorrect  DBE Program not submitted  Expired Title VI or EEO programs not updated  Non-responsive to corrective actions cited in Oversight Reviews  Certification of Equivalent Service (State DOTs)

Potential Delays in Other Areas  Certifications and Assurances not signed  State/Program Management Plans not established or revised and submitted to FTA  Non-responsive to corrective actions cited in Oversight Reviews  ITS Projects do not conform with –Regional Architecture –Systems Engineering –Non-Add Scopes  Fund Availability (transfers)

Fund Transfers  Types of fund transfers –FHWA (STP/CMAQ/ITS)  Transit projects  Transportation Planning –FTA state-to-state program (Interstate MPOs)  5307 Sioux City  5303 Omaha-Council Bluffs –FTA program-to-program  5303/5304 to CPG  Funds are identified during planning process (STIP/TIP)  Note: Requests for fund transfers should only be made when funds are ready to be obligated in grant

FHWA Transfer Process  Transit Provider or State DOT obtains an FTA Grant #  MPO makes initial request to the State –Request should include: –Total available amount of funds to be transferred –Indication of whether these funds are Formula Grant funds (i.e., STP or CMAQ) or Transit Planning (Metropolitan or Statewide); –Indication of the Funds section (i.e., §5307 – Urbanized; §5310 – Elderly Disabled; or §5311 – Non-urbanized); –Signatures of appropriate authorizing officials; –Associated FHWA codes; –Contact information to be used if questions arise that must be addressed prior to processing the funds.  State concurs and submits an FHWA request form to FHWA State Division Office  FHWA State Division Office determines: –if requested transfer is within allowable limits; –Concurs with State’s request; and –Submits request to FHWA Office of Budget (Wash DC)  FHWA Office of Budget coordinates the action: –Sends to Financial Management Information System (FMIS) team to process –Prepares SF-1151 form on Gov Wide Accounting System (GWA) to transfer to FTA (bi-monthly) –Notifies FTA Office of Budget & Policy  NOTE: FTA REGIONAL OFFICE SHOULD BE SENT A CONCURRENCE COPY OF ALL TRANSFER CORRESPONDENCE

FTA Transfer Process  FTA Office of Budget of Policy: –Notified by FHWA that transfer has been processed to FTA –Processes Treasury SF-1151’s in DELPHI as received –Contacts Regional Office for verification of urbanized area code, amount, project #, appropriation, and type of funding –Establishes an Operating Budget in TEAM (bi-monthly)  FTA Regional Office: –Notifies grant recipient funds are available –Obligates funds in grant

Grant Application Contents  Recipient Profile/Information  Project Information  Budget  Milestones  Environmental Findings  Fleet Status  FTA Comments  Results of Reviews

Recipient Profile  Organizational Information  Contact Persons  Certifications & Assurances  Civil Rights Programs Expiration Dates

Recipient Profile  Ensure that information is correct at beginning of the FY

Recipient Profile  Update information when changes occur  Include names/info –Administrator –Commissioners –Executive Director –General Manager –Grants Manager –etc…….

Recipient Profile  Union Information –Include all unions in area –Reminder for States to attach list of subrecipients with affiliated unions

Recipient Profile  Ensure applicable C&A’s are completed within 90 days from the date of publication in the Federal Register Notice (FRN) or concurrent with first grant whichever is earlier

Recipient Profile  UZA & Congressional Districts –Ensure information is accurate –Note: 5309 grants Only list the congressional districts grant project impacts

Recipient Profile  Ensure Civil Rights Programs are current and Dates reflected in TEAM are accurate.

Project Information  General Project Information  Urbanized Area Codes  Congressional Districts  Project Details/Description

Project Information General  Areas normally cited to be completed during review –Start/End Date –STIP/TIP/UPWP Date –Program Page  Other Helpful Information –Phone number after Recipient Contact –Attach any planning studies

Project Information  Control Totals –Total FTA Amount –Total Local Share Amount  Adjustment amount is used when disposition proceeds are received and will be used to offset costs

Project Information  UZA & Congressional Districts –Ensure information is accurate –Changes can be made in the Recipient Profile

Project Information  Make appropriate selection –If Yes,  Ensure Security activities are budgeted; and  Include Security Non- Add Scope (991-00) –If No, check an option 1-3  If #3 “other” is selected provide a justification as to why 1% of 5307 funds will not be expended

Project Description  Provide a complete detailed project description for which federal funds are being requested.  Tools –FTA Region VII Grant Application Information

Project Description Tool  FTA Region VII Grant Application Information –Should be utilized as a checklist for application development and review

Project Description Format  Start each description with –Original/Amndmnt 1 –Date –Name (grant manager)

Budget  Project Budget –Scopes –Activity Line Items  Non-Add (other) Scopes  Alternative Fuel Codes  Extended Budget Descriptions

Budget  Scopes/ALIs selected –ALI Tree List (Home Page Team) –Magnifying Glass  Quantities for Revenue Vehicles Only  Alternative Fuel Codes –Enter type of fuel for bus/van purchases

Budget  Extended Budget Descriptions (Details) –Capital Purchases  Bus replacement include disposition info. –Here or –Fleet Status or –attach info to grant  List what is being purchased and identify useful life of capital items or ALI –Planning Activities  List activities to be performed and area covered

Budget  Non-Add Scopes –991 Security Expenditures (other than 5302(a)(1)(j) items) –992 Tribal Projects –993 ITS Fleet Mgmnt –994 ITS Electronic fare –995 ITS Traveler Info –996 ADA/CAA Increased Federal Share –998 Transfer of Federal Equity –999 Contingency Projects

Milestones  Milestone Description/Date for each ALI  Milestone Detailed Description required when –Pre-award Authority is Utilized  Highlight Scope-ALI

Environmental Findings  Environmental Classification Finding for each ALI including Non-ADD –Class I –Class II(c) –Class II(d) –Class III –Other  Class II(c) –Select a Categorical Exclusion Type

Fleet Status  If over 20% spare ratio describe your methodology to reducing your fleet to meet the requirement  Applications requesting Vehicles –Expansion  identify new route  Indicate Useful life

Application Reviewer  TEAM Tool –Identifies any discrepancies in application –Good Rule of Thumb * Always Use *

Attachments  What do you attach? –Grant  DOL Info  Program of Projects  Fleet Status Report –Recipient Profile  Initial comp selection process  Human Coordination Plan

FTA Comments  FTA Regional Comments regarding: –Discrepancies in application; –Requests for additional information; and –Conditions of Award  Best Practice –check prior to grant execution for any Conditions of Award

Grants/Project Management  Financial Status Reports (FSR)  Milestone Progress Reports (MPR)  Budget Revisions  Close-Out  Dispositions

Financial Status Report (FSR)  FY2008 Region 7 Initiative –100% Quarterly/Annual Reporting  Requirements –Submitted Qrtrly/Annually for all active/Executed grants –Accrual Basis of Accounting –Enter Narrative Comments regarding what funds were expended –Pre-Award Authority submission  Helpful Hints –Work-in-Progress –Submit Report –Final Report –Unobligated Balance of Federal Funds should be $0 at closeout  Myths

Milestone Progress Report (MPR)  FY2008 Region 7 Initiative requests –100%Quarterly/Annual Reporting  Requirements –Project Status Overview  Current Status of all activities  Detailed discussion of bgt & schedule changes –Revised Est/Actual Completion Date –Detail in Progress  Explanation why schedule milestones or dates were not met  Identification of problem areas and narrative on resolution

Budget Revisions  Requirements –Revisions consistent with STIP/TIP –Include reason for Bgt Rev  What is being moved and Why? –Include explanation in details section for change being requested  Helpful Hint: –Do Not Delete Scopes/ALIs instead reduce to $0  Notify FTA when submitted a budget revision

Grant Closeout  Notify FTA to request grant closeout  Ensure FINAL FSR/MPRs are selected  Make sure budget is balance and reflect actual costs  FSR and Budget should reconcile

Dispositions  Always request disposition instructions from FTA prior to disposing of equipment or real estate  Dispositions can include: -Repaying FTA its share of proceeds, if value is over $5,000; -Proceeds can be used to offset gross project costs of another project; -Transferring property (public interest) to another public agency

Questions?